Compliance, Investment & Paraplanning Support

Compliance Support

Unburdened Solutions can provide you with compliance support.

We realise that the needs of every business are unique and we will work with you to tailor the service to your needs. We can help you implement actions identified in reports provided by other external compliance support consultants, or help you identify what it is that needs to be done.

An experienced, well-qualified specialist working with you can help you ensure that your firm:

  • Acts in accordance with the regulations applicable to your profession
  • Maintains a system of controls to manage the risks it faces
  • Conducts its business in compliance with national and international law, including anti-money laundering and data protection, as well as codes of good practice applicable to the profession

We can provide targeted support in areas such as:

  • Training and Competency
  • Fit & Proper / Certification processes
  • Product / Platform / Investment Research & Due Diligence
  • File checking and Suitability Report review
  • Maintaining registers / Compiling and Monitoring Management Information

If you think we may be able to assist you with other compliance-related jobs then feel free to contact us.

Investment Committee Support

We can provide independent support with your Investment Committee including, but not limited to the following:

  • Helping you structure your research
  • Assisting you with updating, reviewing or documenting your Central Investment Proposition
  • Supporting the integration of Environmental, Social and Governance (ESG) factors into your investment process.
  • Supporting your research and due diligence process on tax efficient investments such as EIS, SEIS, VCT and Business Relief schemes.
  • Supporting your research into Social Impact Investments and SITR (Social Impact Tax Relief).